Industry

Decorative pattern

BMO, Wall Street firms sanctioned for app violations

Regulators fined firms a total US$549 million for record-keeping failures

By James Langton |August 8, 2023

2 min read

CIRO plans industry-wide client research project

CIRO plans industry-wide client research project

SRO to expand former MFDA project to all dealers in 2024

By James Langton |August 4, 2023

1 min read

Court rejects fine for trading ban breach

Court rejects fine for trading ban breach

OSC sought fine but court ordered a suspended sentence

By James Langton |August 4, 2023

2 min read

Decorative pattern

Wealth management steady as Canaccord makes capital market cuts

The firm's latest earnings showed client assets growing in its wealth management division

By Mark Burgess |August 4, 2023

2 min read

Decorative pattern

More industry moves this week

Wellington-Altus changes take shape, plus other industry announcements

By Katie Keir |August 4, 2023

2 min read

New Alpha markets get go ahead

New Alpha markets get go ahead

Pair of new trading books, order types to launch Oct. 23

August 3, 2023

1 min read

Banking executive named president of Kansas City Fed

Banking executive named president of Kansas City Fed

Jeffrey Schmid replaces Esther George, who retired in January

By Christopher Rugaber, The Associated Press |August 2, 2023

2 min read

Decorative pattern

Regulators say advisor awards based on production may mislead clients

The CSA and CIRO will consider such awards a compliance issue

By James Langton |August 1, 2023

2 min read

Decorative pattern

Court poised to certify BMO holiday pay class action

B.C. court says case meets criteria and allows plaintiff to revise claim

By James Langton |August 1, 2023

2 min read

Decorative pattern

National Bank to buy SVB’s Canadian commercial loan portfolio

Much of the portfolio is focused on the technology and life science sectors

By The Canadian Press |August 1, 2023

1 min read

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